Arive Capital Markets Archives

Robert Rex, Esq.
September 1, 2022

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2022 October 4, 2023

Efthimios (Tim) Petrou Investigation September 2022 – Ronkonkoma, NY According to publicly attained records, Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets , discloses a recent…

ER
November 9, 2021

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 9, 2021 October 3, 2023

Joseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…

Robert Rex, Esq.
August 30, 2017

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2017 August 30, 2017

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

Robert Rex, Esq.
May 14, 2016

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 May 14, 2016

May 2016-Farmingdale, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…